RIA Intelligence
Registered investment advisers, the advisors registered through them, the capital they report, the private vehicles they run and the people who own them, as a graph with a filing date behind every number. RAUM is what the adviser filed, a move is two registration dates, and a class is a rule you can read.
The names on this page are hidden. Create a free account and they fill in. No card, and every figure, date and source on this page is public either way.
F••••• N•••• A• H•••••
- M••••• C••••••• L•• state registered currentsince Apr 4, 2022 · Lake Oswego, Or
- F••••• I••••••••• independent RIAApr 1, 2021 to Nov 16, 2021 · Plano, Tx
- M••••• S•••••• wirehouseDec 19, 2018 to Mar 31, 2021 · Lake Oswego, Or
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• wirehouseJul 10, 2013 to Jan 9, 2017 · Portland, Or
- F••••• I••••••••• to M••••• C••••••• L••left Nov 16, 2021, registered Apr 4, 2022 (139 days) · RIA to a state-registered adviser
- M••••• S•••••• to F••••• I•••••••••left Mar 31, 2021, registered Apr 1, 2021 (1 days) · Wirehouse to independent RIA
- M•••••• L••••• P•••••• F••••• • S•••• I••••••••• to M••••• S••••••left Jan 9, 2017, registered Dec 19, 2018 (709 days) · Wirehouse to wirehouse
Mobility scoring is not published yet. The observable conditions this page will draw on once the historical validation is done: tenure, the firm’s own departures and ownership changes, new state registrations, a new adviser entity with this person on Schedule A, and colleagues’ moves. Until precision and lead time are measured on known moves, no label is printed. Read the methodology.
- Source
- IAPD individual compilation feedreportedadviserinfo.sec.gov
- Firm class
- STATE REGISTEREDderived
- Years in industry
- 13derivedfrom the earliest dated exam, employment or registration
- Not published
- disclosure flags, outside business text, branch street address